Filing Details
- Accession Number:
- 0001209191-14-076766
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-18 17:59:09
- Reporting Period:
- 2014-12-16
- Filing Date:
- 2014-12-18
- Accepted Time:
- 2014-12-18 17:59:09
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1000694 | Novavax Inc | NVAX | Biological Products, (No Disgnostic Substances) (2836) | 222816046 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1191410 | C Gary Evans | C/O Novavax, Inc. 20 Firstfield Road Gaithersburg MD 20878 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-12-16 | 15,000 | $1.48 | 125,680 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-12-16 | 235,000 | $1.03 | 360,680 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-12-16 | 46,701 | $5.72 | 313,979 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to buy) | Disposition | 2014-12-16 | 15,000 | $0.00 | 15,000 | $1.48 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2014-12-16 | 35,000 | $0.00 | 35,000 | $1.03 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2014-12-16 | 200,000 | $0.00 | 20,000 | $1.03 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-05-04 | No | 4 | M | Direct | |
| 0 | 2015-07-20 | No | 4 | M | Direct | |
| 0 | 2015-07-20 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,000 | Indirect | See footnote |
Footnotes
- The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.70 to $5.745, inclusive. The reporting person undertakes to provide to Novavax, Inc., any security holder of Novavax, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.
- Includes 4,000 shares owned of record by Gary Evans Custodian for Dustin Evans UTMA/TX and 4,000 shares owned of record by Gary Evans Custodian for Casey Evans UTMA/TX.
- The 15,000 shares exercised on 12/16/2014 pursuant to this stock option vested on 11/04/2006.
- The 35,000 shares exercised on 12/16/2014 pursuant to this stock option vested on 01/20/2006.
- Of the 200,000 shares exercised on 12/16/2014 pursuant to this stock option, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $150,000,000, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $250,000,000, 50,000 shares vested when the market capitalization of Novavax, Inc. exceeded $350,000,000, and 50,000 shares vested when Novavax, Inc. successfully accomplished a specific strategic initiative.
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